Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Bauer has been in the financial industry since October 1998. William is a Registered Representative of Charles Schwab & CO., INC. and a Registered Investment Advisor. William is also registered in 17 states across the U.S. for both Broker Check and Investment Advisor. William's previous employers include Clearview Trading Advisors, Inc., J.P. MORGAN SECURITIES LLC, MORGAN STANLEY, TICONDEROGA SECURITIES LLC, and KNIGHT EQUITY MARKETS, L.P. William specializes in providing financial planning and investment advice to clients. William also provides a financial planning referral program, and acts as a wrap fee program sponsor.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Asset based fees for wrap pgrms & subsc pricing for fin planning
1
2
NY
01/12/2022 - Present
Charles Schwab & CO., Inc. (New York City NY)
NJ
06/12/2017 - 12/16/2019
CLEARVIEW TRADING ADVISORS, INC. (TENAFLY NJ)
NY
04/24/2017 - 05/30/2017
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
02/11/2016 - 04/11/2017
MORGAN STANLEY (NEW YORK NY)
NY
03/10/2010 - 10/13/2010
TICONDEROGA SECURITIES LLC (NEW YORK NY)
NJ
06/02/2009 - 10/01/2009
KNIGHT EQUITY MARKETS, L.P. (JERSEY CITY NJ)
NY
02/15/2008 - 06/16/2009
NEWEDGE USA, LLC (NEW YORK NY)
NY
01/02/2007 - 02/22/2008
RBC CAPITAL MARKETS CORPORATION (NEW YORK NY)
NY
11/07/2005 - 01/08/2007
LADENBURG THALMANN & CO. INC. (NEW YORK NY)
NY
12/20/2006 - 01/02/2007
CARLIN EQUITIES, LLC (NEW YORK NY)
NY
02/12/2004 - 11/08/2005
EXGEN SECURITIES LLC (NEW YORK NY)
NY
03/31/2003 - 07/29/2003
A.B. WATLEY, INC. (NEW YORK NY)
TX
04/04/2001 - 12/02/2002
FLEET SECURITIES, INC. (DALLAS TX)
NY
09/17/1998 - 04/06/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
12/20/1994 - 06/02/1998
PRIME CHARTER LTD. (NEW YORK NY)
NA
08/21/1992 - 12/22/1994
REICH & CO., INC.
NY
06/15/1992 - 09/10/1992
A. R. BARON & CO., INC. (NEW YORK NY)
NY
03/06/1991 - 05/22/1992
D. H. BLAIR & CO., INC. (NEW YORK NY)
BOTH
Issued 9/10/2020
Series 66 - Uniform Combined State Law Examination
BC
Issued 8/8/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 10/9/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 2/11/2016
Series 7 - General Securities Representative Examination
BC
Issued 4/20/2001
Series 55 - Limited Representative-Equity Trader Exam
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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